SEC Form 4 · accession 0001543407-17-000030
BECTON DICKINSON & CO · BDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nabil Shabshab
Officer — Executive Vice President
Period of report
Aug 14, 2017
Accepted (ET)
Aug 16, 2017 · 10:12 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000010795
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 14, 2017 | M | 6,944 | $134.73 | A | 15,648 | D | |
| Common StockF1 | Aug 14, 2017 | D | 4,650 | $201.22 | D | 10,998 | D | |
| Common StockF1 | Aug 14, 2017 | S | 2,294 | $201.22 | D | 8,704 | D | |
| Common Stock | Aug 14, 2017 | M | 3,899 | $150.12 | A | 12,603 | D | |
| Common StockF1 | Aug 14, 2017 | D | 2,909 | $201.22 | D | 9,694 | D | |
| Common StockF1 | Aug 14, 2017 | S | 990 | $201.22 | D | 8,704 | D | |
| Common StockF2 | Aug 15, 2017 | S | 2,865 | $202.37 | D | 5,839 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $134.73 | Aug 14, 2017 | M | 6,944 | D | Nov 25, 2015 | Nov 25, 2024 | Common Stock | 6,944 | 6,945 | D |
| Stock Appreciation RightsF4 | $150.12 | Aug 14, 2017 | M | 3,899 | D | Nov 26, 2016 | Nov 26, 2025 | Common Stock | 3,899 | 11,699 | D |
Explanation of responses
- F1The reported sale price reflects the weighted average sale price for multiple transactions. The actual sales prices for the transactions ranged from $201.20 through $201.23. Full information regarding the number of shares purchased at each separate price will be provided to the Securities and Exchange Commission, the issuer or a security holder of the issuer upon request.
- F2The reported sale price reflects the weighted average sale price for multiple transactions. The actual sales prices for the transactions ranged from $202.31 through $202.43. Full information regarding the number of shares purchased at each separate price will be provided to the Securities and Exchange Commission, the issuer or a security holder of the issuer upon request.
- F3The stock appreciation rights vest in four annual installments beginning November 25, 2015.
- F4The stock appreciation rights vest in four annual installments beginning November 26, 2016.